Experience Inc. Jobs

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.

In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

The anticipated salary range for this role is between $225,000.00 and $250,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

SMBC Description

SMBC Capital Markets, Inc. (CM) is a derivatives trading company since 1988 based in New York City, with offices in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and foreign exchange products such as interest & FX swaps, FRAs, options, exotic products, commodity derivatives as well as exchange traded products such as treasury bonds, interest rate futures & options, currency futures, treasury futures & options, etc. SMBC Nikko Securities America, Inc. is a member of the Sumitomo Mitsui Financial Group (SMFG), one of the world's largest global financial institutions. Based in New York City, we provide financial products and services to global institutional clients, focusing on especially North America and Latin America. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).

Role Description

Reporting to the Head of Client Lifecycle in the front office, the Client Management Lead will help build our business by establishing robust processes necessary to onboard and maintain client relationships throughout their lifecycle with SMBC. The Client Lifecycle department operates across both SMBC Capital Markets Inc (our US Swap Dealer) and SMBC Nikko Securities Americas Inc (our US Broker-Dealer), establishing processes to improve customer experience and support expansion of our businesses. The role will involve prioritizing the functions supporting the Onboarding process (Legal, Credit, KYC, etc) while ensuring the process is efficient and well-controlled. The role will require building close partnerships with management stakeholders, sales teams, functional leads and our clients. Successful candidates must demonstrate their ability to manage a "business as usual" pipeline alongside multiple projects, and also their experience across a wide range of relevant regulatory requirements (AML/KYC, Dodd Frank, securities rules, etc) and business processes (KYC, credit limit setting, fund onboarding, client profitability, trading platform enablement, etc). The role involves direct management of staff supporting multiple business lines alongside the coordination of the teams involved in delivering the pipeline and the projects required to expand our business.

Job Responsibilities

• In accordance with SMBC practices and procedures, direct and monitor staff and activity to ensure timely, compliant and successful completion of team's business as usual processes and project deliverables

• Establish and manage a robust process across business lines in order to manage the new client pipeline and prioritize functional resources

• Support other team leads in the Client Lifecycle department as needed, contribute toward development of the department alongside expansion of our client base and businesses

• Proactively establish and monitor key controls and control/performance measurements

• Work with Planning, Technology and Business Management teams to adopt sound governance and provide transparency for process changes and project work required to meet business expansion objective

Qualifications and Skills

• Strong interest in client interaction possessing outstanding verbal and written communication skills

• 8+ years managing Investment Banking, Broker-Dealer or Swap Dealer Client Onboarding, Client Services or related teams / processes

• FINRA Series 99 or equivalent registration

• Ability to operate independently, manage multiple tasks and perform well under pressure in a demanding environment

• Proficient in Excel, Word and PowerPoint

Additional Requirements

D&I Commitment

Responsible for fostering a culture of diversity and inclusion, holding leaders accountable for creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent.

SMBC’s employees participate in a hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.